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New York and Connecticut Adopt Changes to Modernize Securities Filings

USA - December 4 2020 On December 1, the New York State Attorney General announced that it had adopted amendments to its regulations (13 NYCRR 10[1] and 13 NYCRR 11[2])…

Eliza Sporn Fromberg, Lydia Joo Lee.

SEC Risk Alert Shines Spotlight on Private Funds

USA - September 25 2020 On June 23, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert focused on…

Eliza Sporn Fromberg, Erik A. Bergman, Lydia Joo Lee, Henry Nelson Massey.

COVID-19 Temporary Relief: New York-Regulated Banks Required to Grant 90-Day Forbearances for Some Borrowers

USA - March 25 2020 Certain businesses and individuals facing financial hardship as a result of the COVID-19 pandemic were granted a temporary reprieve from the…

Eliza Sporn Fromberg, Michael W. Kaufman, Michael T. Rave.

California Consumer Privacy Act: Compliance Best Practices for Investment Managers

USA - November 20 2019 In 2018, the State of California enacted a wide-sweeping privacy law for California resident consumers titled the California Consumer Privacy Act of…

Kritika Bharadwaj, Susan R. Huntington.